Commission Notification of the Office of the Securities and Exchange Commission No. SorNor. 12/2545 Re: Determination of Rules and Procedures for Actions by Management Companies against Incorrect Value of
, poor services or poor product quality, advertising blockage on sidewalks, poor construction quality, incorrect information provided by insurance companies / brokers, or unfair credit consideration. 2
protection measures available, including complaint/redress procedures. • Identify the implications of providing inaccurate, misleading or insufficient information to the financial service provider
Activity Report 61En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 Executive Summary....................................................................................02 Quality Assurance Review Panel........................................03 Activities for Enhancing Financial Reporting Quality.................................................................................................07 Summary of Audit Inspection Results A. Firm-Le...
the inaccurate the reviewed financial statements for Q2/2017. SEC Act S.300 Settlement Committee Meeting No. 6/2021 Settlement Committee Order No. 42/2021 Dated 02/11/2021
the inaccurate the reviewed financial statements for Q3/2017. SEC Act S.300 Settlement Committee Meeting No. 6/2021 Settlement Committee Order No. 42/2021 Dated 02/11/2021
the inaccurate the audited financial statements for the year 2017. SEC Act S.300 Settlement Committee Meeting No. 6/2021 Settlement Committee Order No. 42/2021 Dated 02/11/2021
the inaccurate the annual registration statement for the year 2017 (Form 56-1) SEC Act S.300 Settlement Committee Meeting No. 6/2021 Settlement Committee Order No. 42/2021 Dated 02/11/2021
the inaccurate the annual report for the year 2017 (Form 56-2). SEC Act S.300 Settlement Committee Meeting No. 6/2021 Settlement Committee Order No. 42/2021 Dated 02/11/2021
the inaccurate the reviewed financial statements for Q1/2018. SEC Act S.300 Settlement Committee Meeting No. 6/2021 Settlement Committee Order No. 42/2021 Dated 02/11/2021